Report on mechanism of social engineering

Realising hydro projects by involving stakeholders

A report, written under

SHERPA (Small Hydro Energy Efficient Promotion Campaign Action)

supported by

executed by

Brussels, in Nov.2007

1. Introductory remarks

1.1 The global need

The development of the society has been an extremely quick one within the past few decades.

Rapidly increased knowledge on interactions between all different kind of human activities

combined with high speed and world wide information raised a general awareness of the

population related to any kind of alteration. Human development is necessarily causing

alteration in terms of economy and environment. The urgent need for a better social

embedding of all kind of alteration is a logical result of this development.

The traditional meaning of the word “engineering” includes the entire sector of technical

efforts in developing projects and technical solutions. For a very long period the technical

feasibility has been the crucial criteria for realisation. Due to the continuously advancing

technical excellence increasing the costs the economical feasibility of a project superposed

any decision process, serving as a second, significant criterion.

Both the awareness of people towards any alteration of their individual environment but also

the dimension of projects has been increasing rapidly. A completely new aspect of

“engineering” in a wider sense of its meaning has to be developed – the so-called “social

engineering”, focussing exclusively on non-technical aspects within the project

implementation.

Obviously aspects and activities in terms of social engineering will be of high importance

whenever technical or economic arguments are not sufficient to persuade people involved.

Apart from the individual need, social engineering should become an obligatory part of any

engineering process in a wider scope.

There are a few classical fields of application where technical engineering accompanied by

economical aspects is the basis but there is additional need for “social work” making the

project a successful one: waste disposal sites, airports, freeways, high voltage lines, nuclear

power plants but also hydropower plants. This selection of well known focus points shows,

that social engineering is a general task and there is global need for it.

This report is focussed on different aspects of social engineering in the context of hydropower

plants. Despite this specialisation some of the criteria and mechanism are still general, but

some others are very specific meeting the peculiar features and demands of hydropower.

The field of applying strategies and methods described by the term “social engineering” is a

very large one and range from large projects as mentioned above to individual private houses

or from the first project idea to the final implementation.

1.2 Social engineering – a key element of sustainable engineering

Looking at the traditional definition of

sustainability it becomes clear that social

engineering is an essential and unavoidable part

of it. Everybody dealing with sustainability

knows best the problems of criteria and

indicators. It is ambitious in terms of economy,

it is difficult in terms of environment and it is a

challenge in terms of society.

Sustainability is not a static condition but a

process, reacting on variables. Social

engineering has to react on human variability

which is the most unpredictable task.

1.3 Concern as the driving force

Social engineering can be seen as methodical approach to overcome opposition against a

project. To find solutions it may be helpful to find out the reason of opposition which may be

manifold. Still remaining on general level any opposition is based on concerns which are

based either on facts or on emotion. Of course in many cases we are facing a mixture of both.

Nevertheless the reason for the concern makes the big difference. Factual concerns can be met

by rational arguments – emotional concerns have to be dealt with on emotional level.

What kind of concerns do people have?

Concern of losing money

Concern of personal safety and health

Concern of having any kind of disadvantage

Concern of decrease of living condition

Concern of any unexpected alteration in their life

Concerned to be tricked

The intensity of the concern is usually but not always direct proportional to the size or

intensity of the alteration itself.

In simplification it can be said that “total concern” is combined of both types of concern

which can be exchanged up to a certain degree.

Emotional concern

Rational concern

Anyway – to deal with all the aspects mentioned needs communication and consequently the

willingness to communicate of all parties involved. Without this precondition the majority of

“social engineering tools” cannot be applied.

1.4 The target of social engineering

Social engineering means accompanying technical and economic aspects with the great

variety of social aspects. Social engineering will never stand alone. Necessarily it needs a

project to deal with. The final target is the factual implementation of an idea.

Technical - Economic Optimisation Economy

Meeting Environmental demands Environment Sustainability

Implementation by social engineering Society

Sustainable SHP

project

t

1.5 Applying the general idea on hydropower exploitation

Electricity production from hydropower is undoubtedly a task of public interest. Nevertheless

a certain part of the population will not recognise the close relation between individual

electricity consumption and electricity production although electricity has become an

unavoidable part of our life.

Hydropower exploitation is a very special task concerning public interest because there is a

conflict with the environment being also a matter of public interest. In both cases there are

different emotions involved. In the early years of European hydropower exploitation the

engineers involved became almost heroes because the result of their activities was electricity

and electricity was the driving force for economical prosperity. In the previous twenty years

electricity has become a matter of course and the very positive attitude disappeared.

Nowadays the lack of knowledge but also the lack of information seems to be the main barrier

against public acceptance.

There are many approaches to achieve the target of public awareness and acceptance of small

hydro and according to the individual options as many of them as possible should be applied

together. The following aspects to be discussed should not be seen as an obligation but an

offer to be taken in case of real need. It will not be possible to apply all strategies to every

project. The idea behind the examples discussed may encourage open-minded engineers to

implement hydropower projects even under conditions which may seem to be hopeless.

2. The tools

The great variety of approaches recommends at least a simple structure. The application of the

tools may happen at different stages of the project development. The order taken below

follows roughly the process of project development. Of course a conceptual strategy has to be

applied at the very beginning of a project and the question of ownership can be solved even in

a very final stage. Anyway there are four large groups of tools to be discussed in detail:

Conceptual strategies

Operational approaches

Involvement

Ownership and identity

2.1 Conceptual strategies

Usually, at the very beginning of a project, the engineer faces a complete one-dimensional

job, defined by the principle: design and implementation of a small hydro plant. It remains for

the competence, the experience and the art of the design engineer to embed the one-

dimensional idea into a wider, comprehensive concept, receiving positive public interest.

Conceptual approaches belong to engineering, but need also to be multidisciplinary and it is

necessary to recognize sometimes complex links between them. These are the means of

transporting the core-idea.

2.1.1 Changing priorities: environmental concepts and additional small hydro

development

Many of the rivers which are attractive for small hydro development have had hydraulic

works installed in the past, aimed at lowering the risk of flood or increasing the river stability.

The ecological quality is sometimes quite poor but little happens because of a lack of funds.

The implementation of a small hydro plant may in fact be able to increase some ecological

parameters, provided the design becomes environmentally sound. Nevertheless, if the official

target of the engineering project is the construction of a small hydro plant, people will tend to

interpret some environmental measures as an ineffectual attempt to compensate for severe

ecological destruction. The better way is to change the priorities. The main target of the

project should be environmental sustainability, including the production of renewable energy

by small hydro. This is just a question of highlighting certain aspects which may not

otherwise be regarded as the main topic.

The extract given above is the outcome of several examples. Some of them will be described:

Example 1: Prioritising flood protection along a certain reach of river Traisen

In the river reach there were two old fixed weirs made of stone providing the water for two 80

years old SHPs, running at low efficiency. The area around is dominated by traditional

industry (Owners of the plants) and continuously increasing settlement in single houses. That

makes the question on flood protection more and more relevant. With the mental municipal

assistance the idea of a large flood protection project was born. Within the project it was

necessary to lower the fixed crest of the weirs and replace them by flexible rubber dams.

Another part of the project – financed by the operating industry- was the enlargement and

complete modernisation of the power plants.

Example 2: Prioritising the authentic rehabilitation of an historical double flap gate.

In the upper course of river Ybbs one of the last double flap gates in Austria exists. For static

but also operational reasons it was necessary to do some repair work. On the other hand this

kind of double flap gate got historical value and the operating company decided to preserve

the old structure. Within the restoration it was possible to realise a slight increase of the top

water level, to reduce the water losses and finally to increase the rated discharge according to

the hydraulic capability of the penstock. All together the rehabilitation allowed for an increase

of power as well as production. The preservation of the historical weir can easily be used for

PR work of the company.

Example 3: Prioritising the ecological functioning of a diversion reach.

Along the river Schwarzache in Tirol there are several SHPs. Built some decades ago the

weirs have not been equipped with fish bypassing systems and there is no residual flow to be

given into the diversion reach. One of these plants became subject of modernisation and

uprating. According to recent knowledge and aiming at a better situation for fish a

comprehensive study has been elaborated. Although the license for operation is valid until

2024 the owner proposed to deliver some environmental flow into the diversion reach and to

built a new fish bypassing system at the weir. Along with these ecological improvements the

losses at the weir has been reduced and the rated discharge will be increased significantly by

installing a second turbine in the power house.

2.1.2 Synergies and multipurpose plants

Hydropower, in fact, does not “consume” the water that drives the turbines like taking

drinking water or water for industrial processing. The water driving the turbines remains

available for various other issues essential for human subsistence. Theses issues can be

divided into “uses” and “protection”.

Issues of protection can be:

prevention or mitigation of floods

prevention or mitigation of droughts

protection of the environment

protection of riparian areas

Issues of uses can be:

irrigation

supply of water for domestic, municipal and industrial use

improvement of conditions for navigation

improvement of conditions for fishing

improvement of tourism and leisure activities.

Even if the power plant in some cases pays for the facilities required for developing other

water uses, this aspect is quite attractive.

The traditional way of designing and engineering aims at the main target of the project, while

minimizing any negative impacts or compensating them if they cannot be avoided. This is the

conservative way to proceed in the fundamental sense of the word. Thinking the other way

round means to aim at the main target but also to alter conditions which are not primarily

necessary, but likely to be in the interests of other people.

For example: the traditional way aims to maintain the current (recent) degree of flood

protection. Any open-minded engineer may, however, decide between either an improvement

in protection, or the creation of a wetland area. Both of these options are much better than the

conservative solution, because other people and other interests are addressed and they may

become partners in the enlarged project.

A wide range of potential synergies and multipurpose ideas exist, such as:

• Installation of small hydro plants within drinking water supply systems;

(interesting mainly but not exclusively in Austria and Switzerland)

• Installation within irrigation systems;

(interesting mainly but not exclusively in Italy and Spain)

• Installation within wastewater treatment plants;

(example: waste water treatment plant Vienna)

• Installation within cooling water systems;

• implementing recreational infrastructure;(example: HPP Dorfmühle)

• Improvement in ecological performance;

• Improvement of flood protection;

• Inclusion of traffic demands; (HPP Deutenham)

• providing measures to stabilize groundwater level.

In many cases, the construction of multipurpose plants will result in a sharing of costs, of risk

and of responsibilities.

2.1.3 Combined energy production and consumption concepts (PCC)

The energy produced by small plants is generally fed back into the grid, with guaranteed and

quite acceptable tariffs being obtained. This will not provide any additional partners. It sounds

better to complement production by direct consumption. The latter can be a manufacturing

plant, public buildings, a whole village or district, or at least a block of flats. Depending on

the respective tariff structure, such systems must be optimized to gather advantages for both

the producer and the consumer. In the case of industrial units, sometimes the low price to get

public energy avoids such PCCs. If it works, the effect on the public is very high, in relation

to employment, identification, the „green power image‟, and so on.

Example:

In hundreds of cases in Europe SHPs has been built along the development of industry in the

first half of the 20th

century. Industry has been modernised and SHP lost its essential value it

had at the very beginning. The plants get old and badly maintained and nobody felt

responsible. Together with the philosophy of concentrating on core business many plants got

abandoned. This was the case at a certain plant in Styria. About six years ago a private

investor bought the old plant producing 1,3 GWh/a. They did a lot of renovation and

modernisation work and finally started up again producing about 2 GWh/a. The industry was

very much interested in getting the electricity directly to cover some 60% of their total

electricity demand. The plant owner and operator and the representative of the industry agreed

in the price for the kWh delivered, which was lower than the industry has to pay by buying

from the grid but still higher than the tariff the operator can get from the grid. An excellent

example for a win-win situation.

2.1.4 Multi-resource concepts

Multi-resource concepts mean to combine different sources of renewable energy (RE) on

local level, probably within one company or at one common location. Possible partners may

be windpower, photovoltaics, biomass or even others. The availability of the resources

mentioned is individual and different. A multi-resource concept may close gaps of production

or at least smoothen the fluctuations. Small hydro is reliable, predictable and highly available.

Wind and PV, which are among the leaders as far as the green image is concerned, are slightly

lacking in these features.

Biomass or geothermal energy, however, have high availability. Any multi-resource concept

will either strengthen the green image per se, or do so by improving the overall availability.

Such a concept does not necessarily have to achieve excellent technical values. Even some

attempt counts in terms of public image.

The „green image‟ (a very powerful public feature) of different sources of RE is undoubtedly

resource-specific and quite different. In a ranking of all renewables the position of small

hydro is not the best. A partnership will thus become an advantage.

Combining hydropower or general RE with coal or gas is not primarily recommended because

of the disputable advantage seen from the RE point of view. Such a concept may reduce the

value of RE and increase those of non-renewal energy sources.

2.1.5 Green image, environmental audits, sustainability check

Another technical solution is to gain an environmental audit, a green certification or to pass a

sustainability check to prove that the plant is designed and operated in a way preserving the

basic features of the ecological integrity of the river system.

In some cases or systems that kind of certificates are accepted as a basis for the certification

of the electricity produced. Switzerland as well as Austria is issuing these kinds of certificates

and the acceptance confirms the idea behind.

2.2 Operational approaches

Engineering is a challenging job. The end of the initial design process usually represents the

start of an even more exiting and unpredictable phase – the phase of getting the license, the

phase of negotiations, the phase of construction works. In very few cases there is no need for

redesign, alteration or adjustment to meet altered framework conditions. The most important

qualifications and requirements are besides technical excellence: social competence,

flexibility, persuasive power and authenticity. All these aspects reflect a more general and

open-minded attitude in design and engineering. Some examples may illustrate the approach:

2.2.1 Flexibility in design

A complex engineering process has to be variable on a time axis. The variability may be

based on alteration of any of the following:

• Ecological knowledge;

• Economic conditions;

• Various other interests;

• Political will;

• Availability of technical solutions.

In general, flexibility in design means the ability to face and cope with new demands. To meet

that challenge, the engineer has to understand the project completely and precisely in all its

details so as to be able to react exactly to any alteration, without changing contents of the

project where changes are not necessary.

2.2.2 Design in the construction phase

Although a plan and a technical report should be the basis of the project implementation, that

principle has a certain limit. With respect to the theory presented in Section 1.2.1, the design

during the construction phase can be understood as a continuation of the design during the

planning phase.

Technical measures and precise engineering fit together quite well. But environmental

measures will sometimes not be able to meet the demands of technical precision. The result of

ecological measures, expressed by the so-called ecological function, is based much more on

individual adjustment during construction than on a precise drawing or design. Consequently,

a reasonable part of the finally successful environmental design can only be done during the

construction phase.

The design provides just the framework, the target, the principles and the tools. In reality, this

procedure requires very close cooperation between the engineer and the executing staff.

2.2.3 Mental preparation

Within the engineering procedure a good and successful project is based on two main pillars:

• Excellence in content and design;

• The conviction that the project is the best possible.

Both facts are decisive in defending a project in any approval procedure or participatory

process. There must not be any doubt in the heart of the engineer that the implementation of

the project is an important step in achieving a sustainable development. In this case, other

people will not only understand, but also appreciate the quality of the project.

2.3 Involvement

From a general point of view the first step is to identify who is really involved by the project

and what are the interests. Generally it is possible to distinguish between local inhabitants,

who want to protect their own interest, the local enterprises, who are interested in working

opportunities, the research organisations and/or universities, who can be involved from a

scientific point of view and finally representatives of the government but also non-

governmental organizations. Each of these bodies mentioned is animated by different kind of

interest, which should be firstly identified and precisely defined.

Each group tries to defend its own interest. According to this, the fear of each group is

different.

As mentioned before, the basis of any solution has to be a correct project seen from the

technical and engineering point of view. To give an example: a certain hydropower project

will increase the water level for optimising the size of the plant. Naturally people living near

the river will become anxious believing that in case of floods they will be endangered much

more than previously. The correct calculation is just the first step – to convince the people and

make them believe, that the calculation is correct is the second and much more difficult step.

The levels where one is acting are different and of course the solutions will be different. For

example, to preserve the private rights and interests of a sportive association a real

cooperation and a deep dialogue is necessary to find the compromises which can satisfy every

part. This, obviously, provides a preliminary spread of information, planning meetings and the

flexibility of the engineering, mentioned before.

Any positive public opinion assumes at least a certain amount of public knowledge. Managing

a project involves providing that information in the quality and form required. To gain this

certain “quality” needs the cooperation with non-experts like the final consumers of the

information. It has to be simple and clear using pictures of everyday life.

The second reason for public involvement is the widely spread human aversion towards any

new idea. Offering ideas progressively in small portions will reduce resistance, because

people identify certain aspects as already known. To involve people will put a new value on

an individual project, and make it more of a public one. Of course, this involves some risks,

but the positive effect usually dominates.

2.3.1 Involvement of governmental representatives

Within the regular approval procedure, a group of governmental representatives will review

and evaluate the project. Traditionally, this group is given details of the project in its final

state. Respecting social concerns, it is recommended to contact these representatives at certain

stages of the project as follows:

• 15 % feasibility study;

• 35 % general design;

• 70 % detailed design; and,

• 90 % before completion.

The level of interaction should be high because of the expertise of the governmental

representatives. Consequently they are more or less forced to participate in the engineering

process by having their opinion or their expertise sought for certain solutions. The more

familiar they get with the project, the greater the mental identification with the project will be.

Nobody will argue against his own ideas.

2.3.2 Participation in the engineering procedure

In the past, several projects have failed as a result of local public resistance. When analysing

this resistance, it seems that the main reason was the holding back of any information about

the project. If people feel ignored, they may also be suspicious that they are being tricked. The

content of the project, once transmitted to them, is usually not the major barrier.

In the context of development programs, participation can be defined as “ the process through

which stakeholders influence and take part in decision making, in planning, in

implementation, in monitoring and evaluation of programs and projects”.(Kaosa et al, 1998)

Participation is difficult to evaluate as there are no commonly accepted quantitative

indicators. It is thus important to distinguish between different levels of participation. In their

study about participation in the Mekong River Basin, Kaosa- et al. (1998) describe four stages

of participation: information gathering, information dissemination, consultation, and

participation.

Other scholars like Pretty (1995) make a more detailed differentiation: passive participation,

participation in information giving, participation by consultation, participation for material

benefits, functional participation, interactive participation, and self-mobilization (Pretty

1995).

The following table describes seven stages of intensity of participation. There is no rule which

stage should be applied under which conditions. According to experience the size of the

project and its possible impact on society will be directly related to the intensity of

participation.

How is it possible to divulge the scientific and technical information to common people? For

sure there is need for documents, reviews and summaries explaining in a simple way the

background and the fundamental aspects of the design. This direct involvement of people is a

process which can be carried out effectively through a series of informational meetings and

public hearings. During these meetings it is possible to urge the population in the decision

making process.

Participation is, as described, much more than giving information and may have significant

influence on the engineering contents of the scheme. The engineer should not principally

resist other ideas but it is his job to evaluate new ideas and to check whether they can be

implemented, modified or rejected.

2.3.3 Mediation in the implementation phase

If the great variety of other tools have either not been applied or could not lead to a final

compromise and there is still resistance against a project, mediation is a well known and well

proven tool to gain a good result.

Although „environmental mediation‟ is a well known term, mediation is not limited to

overcoming environmental barriers.

Mediation is a procedure to overcome any disagreement which has reached a stage where

resolution would otherwise not be possible. It is carried out by a professional mediator, who

must be neutral. The solution has to be found by the clients, and the participation is voluntary.

The mediator simply conducts the process and provides the necessary structure.

A first and sometimes underestimated phase in mediation process is the selection of the

participants. Generally it can be said that everybody having concerns should be included. In

larger projects respectively conflicts the groups may become quite large and the process itself

may get endangered to collapse. It sounds recommendable to decrease the number of

participants by involving representatives of interest groups instead of involving the entire

group. The representative has to be elected democratically.

Another important task is the distribution among the group. The group should reflect the real

range of different opinions and interests in a balanced way. Otherwise it may become difficult

to gain an accepted solution.

The mediation process needs time. It does not make sense to give time limits or to time

pressure, because the solution has to grow slowly and in more or less small steps to get

acceptance. Breaks between working meetings of one or more weeks will support the process

and the final result. The persons involved must have time to make the intermediate results

their own and representatives need time to communicate intermediate results to the groups

they represent.

2.3.4 Public monitoring in the operation phase

For scientific purposes, monitoring is a well known process, carried out by the design team or

some other scientific bodies necessarily related directly to the aspect to be monitored. It is

important to provide public access to the results of the monitoring process. Professional

monitoring has to done in case any kind of public monitoring seems to be impossible due to

knowledge and experience. Even professional monitoring becomes public monitoring as long

as the society or the concerned people trust the monitoring group and get reports on the results

from them.

Direct public monitoring aims to prove that the results predicted within the project have been

achieved in reality. Such public monitoring is based on very simple features and can be

carried out in parallel with professional monitoring.

A quite successful approach is the participation of educational bodies such as schools.

One may ask why any efforts are considered useful after the implementation of a project. The

simple answer is that the success of a project does not end after its construction. There remain

a lot of open questions within the operation phase, indicating an urgent need for public

identification with the power plant.

2.4 Ownership and identity

Identification is a kind of „magic word‟ and can be achieved either by measures described in

Section 1.3 or by real ownership. The share, of course, has some influence on the intensity of

identification. In principle, even a very small percentage of ownership that guarantees a

positive effect. It is the actual commitment which counts, and not the amount, depending on

the individual economic situation.

Identification needs a „real‟ object with which to identify. In former times, small hydro

installations tended to be hidden away, to avoid resistance.

Resistance as well as identification are, to a certain degree, emotions and both require objects

and symbols, simply serving as a focus to emerge and to grow.

2.4.1 Public ownership

Wind energy has demonstrated this concept from the very beginning and the mechanism

works perfectly. To share ownership has at least three advantages:

Excellent public interest;

Shared risk;

Shared investment.

It is not clear why there is very little experience in ownership-sharing models in the field of

small hydro. There is in fact no reason.

There are many economic models and they can be applied in the case of small hydropower.

However, the public ownership model needs an operational body, like a limited liability

company. The everyday business is carried out by the company, production reports for the

owners may be given monthly, and a general assembly can be convened annually. The

number of participants will be limited by the funds needed and by the portion.

2.4.2 Public–private partnerships

A little bit different to the model above is that of public-private ownership. The portions are

then not offered like a loan or a stock, but the partnership is the result of negotiations. That

concept sometimes occurs when two or even more potential investors are interested in

exploiting the same situation. The inclusion of a public body like a community will serve as a

neutral partner, and will be able to unite the former competitors.

Those models are also applied when the total investment exceeds the potential of one single

investor. A public partner will limit the risk and in most cases the operational responsibility

remains in the hands of the primary investor.

Besides all the economic reasons, any inclusion of public bodies is likely to encourage public

interest and identification with the plants.

2.4.3 Public identity

Ownership is usually an economic fact. But in addition, it may also become a mental concept

which is far from the financial aspects. To become a subject of public identity can be regarded

as the highest level of acceptance.

Some examples can be given to illustrate this. Some small hydro plant operators have

installed a kind of museum within the powerhouse, showing old-fashioned equipment. Others

show their collections of historic agricultural tools, or collections of local art.

One excellent idea is the painting of the powerhouse by local children. Another is the

installation of an energy filling station for electrically driven cars.

Along a bike-track, a small hydro operator may consider offering drinks and snacks. For

visitors interested in technical aspects, a screen could show the recent performance of the

small hydro plant.

An educational exhibit for the public could offer a list of certain energy consumers in

everyday life, with a calculation of the hours of operation with a typical day‟s production of

the small hydro plant.

There are many occasions in our society to celebrate the opening and the start up. The

production of the first kWh renewable energy should be an excellent reason to invite all the

people showing some interest. Such a ceremony offers also the opportunity to invite

politicians and mass media. A positive reaction is most likely to be seen as a result.

3. Recommendation

The overview given in this brochure is certainly not complete. The aim of the author was not

to produce a list of rules strictly to comply with but to describe the basic mechanisms and

causalities, coloured by some examples. Reading this brochure should encourage to criticising

conservative and old-fashioned standard on how to run a project and to react on upcoming

challenges. Of course this principle must never imply the neglect of technical and economic

criteria. They remain valid.

The way to find some new approaches is in principle quite simple and can be characterised by

a few recommendations as follows:

Discover advantages in disadvantages;

Try to be able to say: this has never been done before;

Believe in the incompleteness of well-known solutions

Share all your expertise – the feedback will be exciting and creative;

Ask laymen what they are thinking about your project

Discuss your project with colleagues of completely different expertise

Think and act in a multi-dimensional way in interdisciplinary groups.

Adopt achievements in other disciplines

The target group of this brochure contains preferably engineers and project managers.

Nevertheless it will be interesting for local politicians and for representatives of governmental

bodies to learn more about a very complex social process to be carried out side by side with

technical and economical steps of engineering.